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Duty of Care and Loyalty – What Investment Advisers Need to Know

Updated: June 24, 2026 by

In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More

Blog | Conflicts of Interest Rule | Disclosures | Investment Adviser | Securities and Exchange Commission (SEC)

What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers

Updated: December 19, 2025 by

Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More

Blog | Conflicts of Interest Rule | FINRA | Securities and Exchange Commission (SEC)

SEC Chair Gensler Foreshadows an Iron-Fisted Approach to Investor Protection at FINRA Annual Conference

Updated: February 20, 2023 by

The 1,700 market participants who heard new U.S. Securities and Exchange Commission (SEC) Chair Gary Gensler’s remarks at the remote annual meeting of the Financial Industry Regulatory Authority (FINRA) on May 20, 2021, came away with a clear vision for … Read More

Blog | Conflicts of Interest Rule | Investment Adviser | Securities and Exchange Commission (SEC)

What CCOs and Compliance Departments Need to Know About the SEC’s New Definition of ‘Accredited Investor’

Updated: December 23, 2022 by

Not long ago, the ability to invest in private offerings in the U.S. was limited to those whose annualized income and net worth afforded a country-club lifestyle. The requirements were an average income of $200,000 for the last two years … Read More

Blog | Conflicts of Interest Rule | Disclosures | Securities and Exchange Commission (SEC)

SEC Charges Birinyi Associates, Inc. with Unfair Trade Practices and Compliance Failures

Updated: December 23, 2022 by

On July 31, 2020, the Securities and Exchange Commission (“SEC”) announced it was charging Connecticut-based investment adviser, Birinyi Associates, Inc. (“BA” or the “Firm”), with violations of Sections 206(2) and 206(4) and Rule 206(4)-7 thereunder (“the Compliance Rule”) of the … Read More

Blog | Conflicts of Interest Rule | Disclosures | Securities and Exchange Commission (SEC)

SEC Charges Valic Financial Advisors in Two Separate Actions with Disclosure Failures and Mutual Fund Selection Violations

Updated: December 23, 2022 by

On July 28, 2020, the Securities and Exchange Commission (“SEC”) announced it was charging Houston-based financial services firm, Valic Financial Advisors, Inc. (“VFA” or the “Firm”), a dually registered broker-dealer and investment adviser, in two separate actions for violations of … Read More

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